SEC Form 4 · accession 0000100493-17-000108

TYSON FOODS, INC. · TSN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Dennis Leatherby

Officer — Chief Financial Officer

Period of report

Dec 21, 2016

Accepted (ET)

Aug 15, 2017 · 4:37 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000100493

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock	Dec 21, 2016	J	5,777	$0.00	D	375	I	Employee Stock Purchase Plan
Class A Common Stock^F2	Dec 21, 2016	J	5,777	$0.00	A	155,020	D
Class A Common Stock^F2	Dec 21, 2016	G	9,000	$0.00	D	146,020	D
Class A Common Stock^F2	Dec 21, 2016	G	1,000	$0.00	D	145,020	D
Class A Common Stock^F2	Jun 19, 2017	J	253	$0.00	A	145,273	D
Class A Common Stock	Aug 10, 2017	J	1,051	$0.00	A	1,426	I	Employee Stock Purchase Plan
Class A Common Stock^F2	Aug 14, 2017	M	70,600	$19.36	A	215,873	D
Class A Common Stock^F5,F2	Aug 14, 2017	S	70,600	$65.988	D	145,273	D
Class A Common Stock^F2	Aug 14, 2017	M	74,500	$31.82	A	219,773	D
Class A Common Stock^F6,F2	Aug 14, 2017	S	74,500	$65.956	D	145,273	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Non-Qualified Stock Options (Right to Buy)	$19.36	Aug 14, 2017	M	70,600	D	Nov 26, 2013	Nov 26, 2022	Class A Common Stock	70,600	0	D
Non-Qualified Stock Options (Right to Buy)	$31.82	Aug 14, 2017	M	74,500	D	Nov 22, 2014	Nov 22, 2023	Class A Common Stock	74,500	0	D

Explanation of responses

F1The Reporting Person transferred shares from his Employee Stock Purchase Plan account into his personal stock account thereby changing the ownership of the Class A Common Stock from indirect to direct.
F2Includes 7,620.824 shares of Class A Common Stock which vest on the fourth business day following the filing of the Issuer's Annual Report on Form 10-K for its 2017 fiscal year if the performance metrics described in the applicable Stock Incentive Agreement are achieved; 8,605.818 shares of Class A Common Stock which vest on December 1, 2018 if the performance metrics described in the applicable Stock Incentive Agreement are achieved; and 7,329.581 shares of Class A Common Stock which vest on November 18, 2019 if the performance metric described in the applicable Stock Incentive Agreement is achieved.
F3Represents shares of the Issuer's Class A Common Stock received by the Reporting Person pursuant to the Issuer's dividend reinvestment plan since the last Statement of Changes in Beneficial Ownership was filed by the Reporting Person. Such acquisitions are exempt from Section 16 concurrent reporting requirements pursuant to Rule 16a-11.
F4Represents shares of the Issuer's Class A Common Stock purchased for the Reporting Person's account under the Issuer's Employee Stock Purchase Plan since the last Statement of Changes in Beneficial Ownership was filed by the Reporting Person. Such acquisitions are exempt from Section 16 concurrent reporting requirements pursuant to Rule 16b-3.
F5This is a weighted average price. These shares were sold in multiple transactions on August 14, 2017 at prices ranging from $65.83 to $66.11, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F6This is a weighted average price. These shares were sold in multiple transactions on August 14, 2017 at prices ranging from $65.83 to $66.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.